Broker-Dealers Articles

Total: 1082 1 2 3 4 5 6 7 8  Next >> [109]

Brokerage Firms Say Bonus Disclosure Plan Ignores Costs

by

The brokerage industry is warning that lack of a cost-benefit analysis could doom Finra’s plan to require disclosure of broker-recruitment bonuses.

+ Read more

REVIEW: Flash Boys Offers A Seditious Conclusion

by

The book describes the problems with high frequency trading, but does it provide the right answer?

+ Read more

Morgan Stanley Profits Soar On Big Increase In Advisory Business

by

Morgan Stanley reported a 55 percent jump in first-quarter earnings, in large part because of another strong quarter from wealth management.

+ Read more

SEC Plans Review Of RIAs, Broker-Dealers For Lax Cybersecurity

by

The SEC issued cybersecurity guidelines as it prepares to look at over 50 investment advisors and broker-dealers on the issue, which is gaining increasing prominence at the agency.

+ Read more

LPL Names Morrissey Managing Director Of Independent Advisor Services

by FA Staff

William Morrissey, who had run advisor recruiting at LPL Financial, has been named to replace Derek Bruton, who resigned abruptly 10 days ago.

+ Read more

Seattle B-D Merging Into Robert W. Baird

by

McAdams Wright Ragen Inc., a Seattle-based regional brokerage firm, has agreed to merge with Milwaukee-based Robert W. Baird & Co. Inc.

+ Read more

White: No Changes In SEC's High-Frequency Trading Stance

by

SEC Chairman Mary Jo White said today no new issues have been raised for the commission by a controversial new book about high-frequency trading.

+ Read more

Fidelity Tops Investor Satisfaction List

by FA Staff

Investor satisfaction with the overall full-service investments industry has risen for the third consecutive year, according to a J.D. Power survey.

+ Read more

Advisor Compensation Highest Since 2007, Fidelity Says

by FA Staff

Financial advisors are enjoying asset-based compensation that is at the highest it's been since 2007, but they are largely failing to modernize their operations, according to a Fidelity study.

+ Read more

Market Not 'Rigged' Against Retail Investors, Sifma CEO Says

by

The head of Sifma contended yesterday that the market is not "rigged" and that brokerage services to retail investors keep getting better.

+ Read more

1 2 3 4 5 6 7 8  Next >> [109]

Financial Advisor Blogs

Portfolio Manager Insights

Expert Views

MORE VIEWS